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David Vallon

Senior Vice President (SVP) & Chief Compliance Officer (cco) - Advisor at Natixis Advisors

No current adviser or broker registrationSEC record checked 17 October 2026

0
Past adviser firms
7
Licensing exams

IAPD record retrieved 17 October 2026SEC record

David Vallon is Senior Vice President (SVP) & Chief Compliance Officer (cco) - Advisor of Natixis Advisors, LLC, a Boston investment adviser managing $109B. David Vallon has passed 7 licensing exams.

Role at Natixis Advisors

Title on Schedule A
Senior Vice President (SVP) & Chief Compliance Officer (cco) - Advisor
Control
David Vallon is a control person of Natixis Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
David Vallon has held the filed role since April 2007.

The firm

Natixis Advisors, LLC
Boston, MA

Form ADV filed 27 March 2026

$109B AUM115,562 clients48 advisers2 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 9 and Series 10 · 2001
  3. Passed Series 7, Series 24 and Series 63 · 2000
  4. Passed Series 6 · 1997

Registrations and exams

No current adviser or broker registration. David Vallon has passed 7 qualifying exams.

Examinations

Series 6314 July 2000
Name
Uniform Securities Agent State Law Examination
Series 104 May 2001
Name
General Securities Sales Supervisor - General Module Examination
Series 916 March 2001
Name
General Securities Sales Supervisor - Options Module Examination
Series 2423 June 2000
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 710 March 2000
Name
General Securities Representative Examination
Series 625 September 1997
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
David Anthony Vallon
CRD
2928834
Firm
Natixis Advisors, LLC
Registration status
No current adviser or broker registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does David Vallon work?

David Vallon has been Senior Vice President (SVP) & Chief Compliance Officer (cco) - Advisor of Natixis Advisors, LLC since April 2007, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 27 March 2026

Does David Vallon have a current investment-adviser registration?

David Vallon has no current investment-adviser or broker registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has David Vallon passed?

David Vallon has passed 7 licensing exams: the Series 6, Series 7, Series 24, Series 63, Series 9, Series 10 and SIE. The earliest, the Series 6, was passed in September 1997.

Source: IAPD individual record, checked 17 October 2026

Leadership at Natixis Advisors

  • David Giunta
    President & Chief Executive Officer (ceo) and Board of Managers Member
  • Warren Besser
    Executive Vice President (evp), Chief Financial Officer (cfo)
  • Anthony Loureiro
    Senior Vice President (SVP)
  • Marilyn Rosh
    Senior Vice President & Controller
  • Susan Tobin
    Executive Vice President (evp) General Counsel
  • Marina Gross
    Head Natixis Investment Managers Solutions
  • Christopher Sharpe
    CIO Natixis Investment Manager Solutions U.S.
  • Eric Ward
    Board of Managers Member
  • Michael Yip
    Chief Investment Officer, Direct Indexing

Sources

  1. IAPD individual record, CRD 2928834. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Natixis Advisors, LLC, filed 27 March 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with David Vallon or Natixis Advisors, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.